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By Press Release |
May 16, 2013
The regulator says Charles J. Dushek and Charles S. Dushek mixed funds with clients and allocated winning trades to personal accounts.
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By Press Release |
March 11, 2013
The Securities and Exchange Commission today charged the State of Illinois with securities fraud for misleading municipal bond investors about the state’s approach to funding its pension obligations.
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By Press Release |
October 3, 2012
The SEC charged two hedge fund managers today with lying to investors about how they were handling the money invested in their funds.
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By Press Release |
September 27, 2011
The Securities and Exchange Commission charged RBC Capital Markets LLC for selling unsuitable investments to five Wisconsin school districts.
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By Press Release |
August 31, 2011
The SEC received court approval to freeze the assets of a Chicago-area quantitative hedge fund startup for lying to prospective investors
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By Press Release |
August 10, 2011
The Securities and Exchange Commission charged Stifel, Nicolaus & Co. with defrauding five Wisconsin school districts by selling them "unsuitably risky and complex investments."
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By Press Release |
July 27, 2011
The Securities and Exchange Commission staff today issued a report identifying common weaknesses seen in sales of structured securities products.
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By Press Release |
April 25, 2011
The SEC alleged that Juan Garcia traded on insider information regarding a multi-billion dollar cash tender offer by BHP Billiton Plc to acquire Potash Corp. of Saskatchewan Inc.
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By Press Release |
August 24, 2010
SEC says two Spanish traders made $1.1 million off insider info on BHP Billiton offer for Potash Corp.
